Demonstrating CASS Oversight
Key learning takeaways
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Compliance and
risk management
Employee
compliance
Consumer
duty
Your Compliance
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by Sector
Asset Management
Ease your firm’s risk of non-compliance
Banking
Innovative and robust banking compliance tools
Funds
Automate key tasks and boost transparency
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Track, monitor and prove compliance with ease
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Bolster your audit preparation and oversight
Wealth Management
Make compliance your competitive advantage
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by Function
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Prevent misconduct with enterprise risk management
Compliance
Give your team greater visibility and control
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Streamline HR compliance and reduce admin
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Your golden source of truth for governance
Operations
Minimise duplication, bottlenecks and inefficiency
About
Insights
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WEBINARBeyond the Checklist: Unveiling the True Essence of Consumer Duty
WhitepaperOperational Resilience: Adapt, Respond & Recover
WhitepaperBest Practice in Third Party Risk Management
WhitepaperGuide to the FCA’s Strategy
WhitepaperSM&CR: Enhancing Ethics, Accountability & Culture
ON DEMAND
June 2023
The new Consumer Duty requirements come into force on 31st July 2023. By this date, relevant firms need to ensure that they can demonstrate compliance with the Consumer Duty requirements. This means more than completing the actions in your implementation plan. The FCA wants to see the Consumer Duty requirements embedded in your firm, and greater collaboration between all relevant parties.
We’ll consider the following areas:
Download our webinar now!
Head of Risk & Compliance
In a career spanning 27 years, Priscilla has worked as a consultant, CCO and MLRO providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.
Her dual role also encompasses the oversight of risk management at Ruleguard.
She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.
Platform Director
Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform. He has 15+ years of experience in software development and has worked on Ruleguard since its launch.
Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.
Key learning takeaways
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